workshop presentation final

Final WorkshopADP – CO Transition Management Support

Friday 15 Dec 2006Jennie Perzon, Jennifer Jaramillo

2© 2006 Accenture. All rights reserved.

Workshop Objectives

• Share key findings and gather feedback• Highlight key success factors and review

recommendations• Provide an overview of a framework and toolkit

for transition management• Discuss options for next steps


Workshop – Fri 15 Dec (9:00 – 12:30)

• Welcome & Agenda (5 min)

• Introduction (10 min)– Goals and Purpose– Value for CARE USA– CO Specific Value

• Project Approach (15 min)– Drivers– Project Objectives– Assumptions– Framework– Approach– Journey

• Current State Assessment / Findings (1.5 hours)– Angola– Tajikistan– Bolivia– Honduras– CD Participation via telephone***

• Break (15 min)


Workshop – Fri 15 Dec (9:00 – 12:30)

• Global Findings (I hour)– Overall Observations– Overall Recommendations– Journey – Key Success Factors– Toolkit Framework– Toolkit Approach– Overview Toolkit Component

• Transition Management• Change Management• Financial Analysis• Org Structure• Processes• Staff Development

• Detailed run-through of one tool-kit area (15 min)

• Next Steps – Discussion (15 min)

• Close

• Lunch for further discussion / Q&A (12:30 – 1:30pm)


Workshop – Fri 15 Dec (9:00 – 12:30)





• Break (15 min)


CARE’s Challenge

External Situation

The new strategic plan for FFP aims to focus future resources available for development-oriented multi-year assistance programs on the most vulnerable people in the most food insecure countries.

The driver for CARE’s change is to address the impact of a significant reduction in Food For Peace (FFP) funding and organizational evolution in a number of key countries.

Internal Situation

CARE has made organizational evolution a priority and are reassessing their strategic position and operations.

Implication

CARE Country Offices that depended on FFP and monetization for a significant source of their resources will need to address the impact to the way they work.


Project Objectives

• Provide support to the four selected COs in addressing the impact of reduced resources, particularly FFP resources

• Document and package approaches, tools, and lessons learned for a globally relevant methodology that other CARE COs can use in the future

Guiding Principles

• Balance CO’s immediate needs with

globally relevant resources and priorities

• CARE and ADP collaboratively team

together to achieve project objectives

• Align project with ongoing initiatives

including the CARE USA Strategic Plan, CO

Entry/Exit Criteria, and CO Business

Models

• Engage key stakeholders for consultation

• Share knowledge and mutual learning

across the organization

• Facilitate re-use of approaches, processes,

and tools

CO immediate needs

Globally relevant

approach

The project objectives are to collaboratively address short-term and long-term CARE goals for handling organizational impact as a result of reduced resources.


Assumptions

• The main focus of the tools and templates that the ADP project develops during the CO visit are focused on the short-term organisational re-structure and transition. However, it is the intent that these tools and templates can be re-used for any future change initiatives as defined in the strategic plan.

• The ADP project is not involved in the definition of the long-term direction of the various CARE CO’s.

– Strategic planning in regards to the future model of Tajikistan.– CARE Bolivia’s decision on acceptance of the Title II funding extension.– Long-term direction of CARE Honduras and the Central American region.


CO Transitions Framework

Strategy & Vision

Talent Management Monitoring & Evaluation

ProgramsGovernance

Knowledge Sharing

Country Operations

• CI strategy impact on identifying future state

• CARE USA strategy

• RMU and CO strategy

• CARE Leadership from RMU and Atlanta

• Any governance processes or bodies to oversee CO Transition

Organization Structure

• Roles and responsibilities

• Reporting lines

• Job descriptions

• Donor and program impact on operations

• Program dependency on operations (requirements)

• Impact of operational change

• Talent management

• Succession planning

• Core competency development

• Identify key success factors and lessons learned

• Share transition process with other CARE COs

• Share within CO / RMU

• Measure success and impact of transition

• Measure success of ongoing operations

• Integrate metrics into CARE’s broader M&E and reporting mechanisms

Processes

• Policies and procedures

• Needs and Volume analysis

Staff Development

• Skill analysis

• Capacity development

• Knowledge Transfer

Change Management

• Communications

• Leadership

• Retention and motivation

Finance

• Funding pipeline

• SPC

• Scenario analysis

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Key Activities Approach

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Project Phase / Activity 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Project Orientation and Planning

Project orientation, HQ stakeholder meetings

Prepare project approach, detailed workplan

Gather country information & develop approach

Pilot Country Support

Country Visit 1 - Angola

Country visit 2 - Tajikistan

Country visit 3 - Bolivia

Country visit 4 - Honduras

Consolidation / Knowledge Sharing

Consolidate findings & package deliverables

Plan and facilitate concluding workshop

Develop summary final paper

Project Mgmt / Status Reviews X X X X X X X X X X X X X X X X X X X

Milestones / Checkpoints

Kick-off Workshop

Initial CO Findings

Initial CO Findings

Initial CO Findings

Initial CO Findings

ConclusionsWorkshop

Workshop


Global Report – Final Presentation• Project Overview and Approach

• Guiding Principles & Assumptions

• CO Summary and Highlights

• Key findings and overall observations

• Lessons Learned & Key Success Factors

• Conclusions & Recommendations

• Reference Documentation

Toolkit• Toolkit Framework and Approach

• Transition Management

• Change Management

• Financial Analysis

• Org Structure

• Processes

• Staff Development

• Templates and Examples

Bolivia

Honduras

Deliverables Approach

Angola

Tajikistan

• Key Findings

• CO Summary

• Interim Recommendations and Activities

• Key Findings

• CO Summary


• Key Findings

• CO Summary


• Key findings

• CO Summary


Complete

Complete

Complete

Complete


Country Office Approach (1)

Approach was to conduct a quick assessment and based on current demands and priorities, initiate activities that the country office will take forward. – Consultative and collaborative approach– Actionable, practical and user-friendly tools and templates that

are easy to implement– Initiating momentum for transition activities


Country Office Approach (2)

• Develop an understanding of current operations

– By using a top-down approach conduct meetings / workshops and Interviews with key people in CO– Review of relevant documentation (strategy, process, policy etc.)– Sub-office and field visits

• Develop an understanding of the environment in which the CO operates– Social, political, economical situation and trends– Donor and NGO environment and trends

• Conduct analysis to identify CO’s key challenges and goals– Impact of removal of resources– Focus on Operations (Admin, Finance and HR)– Alignment with findings from ATL HQ meetings

• Validate and prioritize challenges– Meetings, workshops and document review with key stakeholders– Short term vs. long term priorities

• Collaboratively develop solutions and recommended activities– Work with relevant people in CO to develop and implement (tools & templates)– Focus on change management (org structure, R&R, Communication, training etc.)

• Facilitate knowledge sharing– Communicate lessons learned– Share Key Success factors

• Document findings – CO Summary– Input to global report– Validate with CO SMT, RMU, ATL HQ

Wk.1-2

Wk.3-4


Journey – Current CO State

• CARE’s presence and operations (Strategic Plan)

• Trend towards development programs

• Removal of large infrastructure / service delivery funding

• Financial Analysis • Determine impact on

Program Support Structures• Align analysis of Title II

funding removal with parallel activities / initiatives

• Structure a flexible and agile organisation• Management inspire and

lead transition process• Transparent process with

staff• Consistent Communication

Increase program impact

• Increase skills and capacity

• Create standard processes

• Identify efficiency improvements

• Refine operational structure

• (iterative process)

• Innovative programs with high impact

• Focus on continuous improvement

• Proactive, learning organization• Knowledge Sharing• Continue towards CARE’s

mission and vision

Strategic Planning

Identify vision

AnalyzeDetermine the

change

RestructureBuild the

foundation

StabilizeMaintain and

Repeat

TransformImprove and strengthen

Timeline

Honduras

Tajikistan

Bolivia

Angola


Workshop – Fri 15 Dec (9:00 – 12:30)





• Break (15 min)


Angola - Country Summary

Title II situation

• Funding ended in 2005

Other considerations

• CARE USA audit

External context highlights

• One of the fastest growing economies in Africa

• Extreme inequality between rich and poor

• One of the highest costs of living of all country offices (High cost of operations)

• Government playing larger role in service delivery

• Low local capacity

Journey

Accomplishments to Date

Financial analysis and development of future scenarios and options for future (M. Fuhrer)

Restructure in 2005 Updated roles and responsibilities

Robert Bulten for further update (from looking forward slide)


Angola - Lessons Learned

• Conducted Broad Financial Analysis to identify areas of savings• Applied systematic process to re-structure in 2005• Engaged key stakeholders in re-structure processes• Regular communication and staff meetings part of business as usual

(Both at CO and SO)• Dedicated focus on continuous learning • Establishment of Knowledge Sharing Groups


Angola - Looking Forward

Priorities

1. Processes: Procurement

2. Organization Structure: Segregation of procurement duties and authorization signatory limits

3. Staff Development: Capacity development analysis

4. Change Management: Communications

ADP Facilitated Activities

Workshop between all CO Admin staff to capture the current process and to update the process in a simple tool to reflect restructure

Workshop also defined roles and responsibilities, clearly segregating procurement duties and defining authorization signatory limits

Capacity development analysis workshop with Admin and Program Manager and representatives from SO’s.

Communications training session with key representatives from SMT

Interviews and Workshop Participation

CD Robert Bulten National Program Director: Daniel Miji Program: Mushtaque Ahmed, Mir Hushna Admin Coordinator: Kenny Ihanjika HR: Edna Santos Finance: Monette Igot, Domingues Ferreira General Services: Gabriel Cahona Kuito Sub-office: Daniel Guilio (Coordinator), Moniz

(Admin), Cabral (Accountant), Helene (Cashier), Elmer (HIV)

Kilamba Kiaxi Sub-office: Ilde (Project Manager, Maria (Admin), Amaral (Admin Asst)

Field visit to CARSEM and LURE


Tajikistan – Country Summary

Title II situation• Funding ends in June 2008• Title II makes up about 60% of CO portfolio

Financial situation (as of Aug 06)• Total budget FY07: $3.4M• Total SPC planned FY07: $439,982• SPC as % of Total Budget as-is: 13%

Other considerations• CARE USA discussions around the future

of Tajikistan• Many other projects ending in December

2006• Departure of ACD-P in December 2006

External context highlights• High capacity of local staff• Tight job market• Government corruption• Competitive NGO salary relative to

government positions• Labor migration to Russia• Gender inequality

Journey


Report on CARE’s Presence and Operations in Tajikistan. Includes development of scenarios and options for future (M. Luckins & M. Tsitouris)

CD and RMU future options proposal Financial Analysis on SPC (CARE Tajikistan Change Management

Committee)

Louis Alexander to give further update (from looking forward slide)


Tajikistan - Lessons Learned

• Leveraging existing Communications forums• Facilitating decision-making through establishment of Core Team• Working Groups Established • Internal training Initiatives and cross-training programs• Solid Internal Control initiatives • Knowledge Transfer Planning for Key Roles to spread dependency• Internal promotions • Using collaboration of experts across projects


Tajikistan - Looking Forward

Priorities

1. Country Operations: Transition Planning

2. Staff Development: Knowledge Transfer for key position

3. Change Management: Communications and change training around transition


Conducted Transition Planning workshops with the Transition Project Team (TPT) to review best practices and to develop an action plan (activities, owners, and timeframes)

Knowledge Transfer workshop and documentation for ACD-Program to National staff, validated with Core Team and agreement reached. Included activities, timeframe, and future org structure

Workshop with TPT on communications and change training around transition


CD Louis Alexander ACD-Program Becky Myton ACD-Program Support Sylvia Francis Program: Dilbar, Samad, Farrukh, Sharif HR: Banoz Finance: Ireena Procurement: Mumin Transport: Nozim Security: Khiarullo External: Marge Tsitouris, Meg Luckins Field visit to Jilikul, DAP project, and FACT project


Bolivia – Country Summary

Title II situation• Funding ends in December 2007• Title II makes up about 40% of the CO portfolio

Financial situation (as of Sept 06)• Total budget FY07: $7.8M• Total SPC planned FY07: $647,999• SPC as % of Total Budget as-is: 8%

Other considerations• CARE USA audit (Nov 2006)

External context highlights• Political instability• Micromanaged relationship with USAID (Title II)• Labor migration to neighboring countries• Limited employment opportunities

Journey


Performance Management initiatives Enhancement of current structure Title II program review (Nov 05 – Jeff Gowa; Oct 06 –

Adeeb, Catherine Goolsby) Hiring new ACD-Program Becky Myton (Jan 07)

Barbara Jackson for further update (looking forward slide)


Bolivia – Lessons Learned

• Enhancement of current operational structure with some reorganizing, filling vacancies and performance management

• Focused Committees / Groups established – communication and proposal development

• Communications Strategy under development and internal and external communications plan underway (utilizing many communications methods including internal webpage, newsletters, email, meetings)

• Good relationship with other PVO’s and NGO’s including aligned planning and cross learning initiatives


Bolivia – Looking Forward

Priorities


2. Financial Analysis

3. Processes: Procurement

4. Change Management: Change training around transition


Transition Planning and overview workshop with key stakeholders

Financial Analysis and development of scenarios with Finance team and CD

Procurement workshop, transfer of know-how and leveraging of lessons learned from previous countries

Communications meeting to ensure alignment of transition and communications planning


CD Barbara Jackson Title II Admin: Alfonso, Bismark, Theresa Title II Coordinators: Johnny Reyes, Jacqueline Program: Silvia Aguilar, Marco, Ivar Communications: Catherine HR: Karin, Carina Finance: Emma Mejia, Carlos Quintana, Reynaldo IT: Luis Acosta ACD-Program Gerardo Romero Internal Auditor: Wilfredo Goods & Services: Jorge, Max External: Jeff Gowa, Aoife Gibbons USAID Bolivia FFP Director: Alan Hurdus Field visit to Title II projects (Sucre, Sopachuy, El Alto)


Honduras – Country Summary

Title II situation• Funding ends in September 2007• Title II makes up about 25% of the CO portfolio

Financial situation (as of Nov 06)• Total budget FY07: $5.4M• Total SPC planned FY07: $742,780• SPC as % of Total Budget as-is: 14%

Other considerations• Regionalization

External context highlights• High unemployment• Gap between rich and poor continues to grow• Labor migration of human capital• Security issues• Very strong relationships with NGOs and

donors• Central America is not a priority with donors• Money is coming to the region through different

channels• Drastic changes in government• CAFTA signed, activities began in April 2006

Journey

Accomplishments to Date Title II program exit strategy developed 2 years ago. Internal program

phase out plan developed and currently being implemented. On target to meet program goals. (P. Charpentier)

Evaluation of organizational change completed (Sept 06 – S. Ayestas) Regionalization management structure in place and other efforts are

currently under way

Patricia Ahern to further update (looking forward slide)


Honduras – Lessons Learned

• Responsible planning for Title II phase out Sept 07 (program focus) and exit strategy for program developed early

• Change Management Workshop and survey used to identify key focus areas, strengths and weaknesses

• Transition in 2005 (Title II funding reduction) was responsibly conducted and included workshops for staff

• Engagement of key back office staff in regionalization process• Positive working relationships within CO between Program and

Program Support• Program Support (Admin, HR, Fin, IT) seen as one cohesive unit• Good relationship and presence with other PVO’s and NGO’s and

donors


Honduras – Looking Forward

Priorities

1. Financial Analysis

2. Change Management: Change training around transition



Financial Analysis with Finance team; regional Finance Director and NPD. Ongoing analysis of Title II impacts to Honduras program support.

Change Management overview with Program Support, SMT, Program management team, Regional Admin and HR Dir. Development of Change Management analysis, approach, and Communications Overview.

Transition Meetings with key stakeholder from Regional and CO leadership teams


National Program Director Patricia Ahern Regional Director Colin Beckwith Regional Management Team: Johannes Schoors,

Renan Lizano, Marcos Neto, Donaldo Lopez HR: Suyapa Ayestas Fin: Emma Mejia, Jessica Ramirez Admin: Karine Lopez Program: Rodolfo, Raul, Carmen, Maria Rosario,

Dacia, Adolfo Title II Admin: Noel IT: Astor Chirinos Field visit to La Esperanza and San Pedro Sula


Workshop – Fri 15 Dec (9:00 – 12:30)





• Break (15 min)


Workshop – Fri 15 Dec (9:00 – 12:30)

• Global Findings (I hour)– Overall Observations– Overall Recommendations– Journey – Key Success Factors– Toolkit Framework– Toolkit Approach– Overview Toolkit Component




• Close



Global Findings – Journey

Increase program impact

Strategic Planning

Identify vision


change


foundation


Repeat


Timeline


Global Findings – Success Factors (1)

Planning and Leading the Change

• Transition Planning: Initiate transition planning early on – well ahead of events – even if significant uncertainty remains on the future direction

– Agree on key milestones and dependencies– Align parallel activities (eg. Audit Actions, Regional initiatives and CO specific activities)– Assign key responsibilities and ensure accountability– Align communication with transition activities– Allocate adequate resources and capacity– Engage RMU and Atlanta as necessary for decision making

• Leadership: Management to formulate and communicate their goal and vision to the rest of the organization– Create a clear picture of “where we want to get to”– Secure and mobilize a committed network of change sponsors– Identify and remove barriers to change– Unified leadership team– Communicate

• Change Management and Communications: Develop a plan to help ensure consistent, clear and honest communication tailored for the audience

– Plan and assign responsibilities– Use various communication methods– Ensure feedback channel exists– Consistent and timely messages– Engagement of key stakeholders both within and outside the organization


change


foundation


Repeat


Strategic Planning

Identify vision



Designing the Change

• Financial Analysis: Conduct broad, rigorous scenario analysis – which is accessible to Senior Management – to inform strategic direction and planning efforts

– Develop future scenarios (worst case, likely case, best case)– Ensure realistic and accurate planning and evaluation of pipeline– Understanding of impact to back office Structure (Program Support)– Identification of priority SPC cost saving areas– Adherence to donor SPC limitations– Encourage deep engagement from and input from Sub Offices

• Balance financial viability vs. quality of program: Ensure engagement of both Program and Program Support to determine qualitative impacts and mitigating activities

– Balance impact on quality of service to program area– Conduct thorough volume / needs analysis– Monitor and evaluate throughout the process

• Update organizational structure: Document and communicate the updated organizational structure including new reporting lines and role definitions

– Document new Roles and Responsibilities– Allocate and document any new or “merged” tasks– Align new expanded roles with appropriate compensation and promotion structure

• Policies and procedures: Update polices and procedures to reflect re-structure– Ensure control mechanisms and conflict of interests do not overlap in new structure– Determine ownership and assign maintenance responsibilities– Update and Expand Infrastructure to match new structure


change


foundation


Repeat


Strategic Planning

Identify vision



Enabling the Change

• Staff Development and Skill building: Invest time and effort in Capacity and skill building to adapt to new environment– Train staff for expanded roles and responsibilities– Utilize internal movement of people to up-skill in particular areas – Allow enough time for training and Knowledge Sharing– Ensure support for key roles during transition– Spread training across all functions – Cross-training initiatives

• Staff Engagement and Motivation of Staff: Plan for Engagement, Discussion Space and Continuous Improvement - provide critical leadership - disseminate key information and respond to feedback

– Involve people in the process early– Help staff understand “What does the transition mean for me?” and “Why does the transition impact me?”– Transparent process and communication– Ensure alignment of compensation with any expanded roles– Ensure Work/life balance throughout the process

• Monitoring and Evaluation: Plan to support and continuously improve the transitioned organization– Financial (Are cost objectives met?)– Adherence to policy and procedure– Project PSU requirements (Are project needs met?)– Employee satisfaction (ex. Anonymous survey)– Employee commitment (Is communication effective?)


change


foundation


Repeat


Strategic Planning

Identify vision


Global Findings – Transition Management (1)

• Leadership experience in dealing with transition management in multiple contexts

• Lessons learned across many COs which can benefit future transitions

• Existing in-house tools and technical expertise in areas such as financial analysis and change management

• Recognition of the importance of managing transition effectively, in order to stay true to CARE’s mission and core values

There’s a strong foundation upon which to build in enhancing CARE’s ability to deal with Title II changes – or other major organizational transitions



• Lack of integrated approach for dealing with transition: no overarching framework for bringing together various elements of a transition program: change management, financial analysis, processes, etc.

• Unclear roles and responsibilities – at HQ and CO level – on who ‘owns’ activities related to transition management

• Varied skills and capabilities – expertise exists in pockets, but not evenly spread; barriers to knowledge sharing impede organizational learning

• Insufficient mechanisms for COs to access CARE’s existing expertise, tools or to receive support

• Lack of practical, easy-to-use tools and training to get things started

• Unclear decision-making process and reluctance to make hard decisions

However, there are general organizational barriers to CARE making maximum use of these experiences and capabilities:



• Insufficient understanding at various levels of the organization on the rationale for CARE’s Title II decisions

• Concerns related to CARE’s understanding of full range of potential direct and indirect impacts of Title II reductions

– Loss of key capabilities: logistics, supply chain

– Impact on emergency response capabilities (infrastructure and expertise)

– CARE role in emergency response

– External perception (donors and other NGOs) of CARE’s move away from Title II and monetization

– Increased need for collaboration between projects and program support (shared resources, planning, estimating)

– Impact to overall CARE USA budget (via ICR)

In addition, this project revealed additional barriers related to implementing Title II changes in particular:


Global Findings – Recommended Way Forward

• Develop an integrated approach to transition management that cuts across functional and organizational areas, which includes

– A commonly understood framework

– Practical tools and templates which support planning & execution

• Define ownership, roles, and responsibilities for transition management – both at HQ and in the field

– Executive sponsorship

– Functional ownership

• Identify mechanisms for COs to get access to the skills and tools they need

– Hands-on support

– Capacity building

– Networking and peer learning

We believe there is significant potential to build on the initial findings of this project to build an improved ‘transition management’ capability across CARE. Key steps:

The outputs of this project are intended to provide a useful start in this direction!


Workshop – Fri 15 Dec (9:00 – 12:30)

• Global Findings (I hour)– Overall Observations– Overall Recommendations– Journey– Key Success Factors– Toolkit Framework– Toolkit Approach– Overview Toolkit Component




• Close



Toolkit Approach

The transition toolkit provides an integrated approach to addressing the various components of change to CO Operations.

What is it?• The toolkit is designed with the objective to support and guide the CO’s in their current and future activities within the

following six components:– Transition Planning : Develop an overall action plan, identify owners and timelines for activities.– Change Management : Analyze and address the impact of the transition on staff.– Financial Analysis : Determine the CO financial situation to understand the cost structure, coverage and future

scenarios.– Organization Structure : Align program support operations organization structure to support the CO. – Processes : Adjust processes as necessary to support CO programs while complying with policies.– Staff Development : Understand current skills and skills needed in the future. Develop capacity where gaps

are identified.

• For each component, an overview and step-by-step guidelines are provided as tools to empower country offices.


Toolkit Approach

What are the Benefits?• Provides practical, user-friendly tools to use during a transition• Addresses the various components of a change through an integrated approach to ensure the benefits of a transition

are actualized.• Helps to align the CO operations (and organization) with the changed environment. The alignment focuses on

transition planning and change management activities.• Incorporates lessons learned and leverages examples from other COs• Provides an approach that is expected to evolve over time as improvements and efficiencies are identified

How do you use it?• Follow step by step guidelines for each of the focus areas.• Refer to examples and templates for further practical guidance.


Toolkit Framework

Organization Structure

Process

Staff Development

Financial Analysis

Planning and Leading the Change

Project Management for Organizational Transition

Change Management

Designing the Change

Enabling the Change

Continuous Improvement


change


foundation


Repeat


Strategic Planning

Identify vision


Workshop – Fri 15 Dec (9:00 – 12:30)

• Global Findings (I hour)– Overall Observations– Overall Recommendations– Journey– Key Success Factors– Toolkit Framework– Toolkit Approach– Overview Toolkit Component




• Close



Transition ToolkitComponent 1: Transition Management

ChallengesWhat common issues does this help address?

• Many interrelated activities occurring at the same time

• Unknown timeframe for transition

• Weak linkage between program and program support

• Lack of experience in transition activities

• Maintaining Program Support quality during transition activities

• Unclear how to implement changes

Components / ActivitiesWhat common activities address the challenges?

• Develop transition plan (activities, timeframe, resources, milestones)

• Monitor status and identify issues/risks

• Engage staff resources and RMU / Atlanta

Benefits What is the desired impact?

• Systematic approach to re-structure

• Incorporate lessons learned from other transitions

• All key stakeholders have input

• Tool to prioritize activities and mitigate risks

• Minimize timeframe for transition activities

• Limit impact to programs


Transition ToolkitComponent 1: Transition Management

Outcomes What are results of the activities?

• Transition Plan• Meeting Schedule• Resource Engagement

Plan


Transition ToolkitComponent 2: Change Management


• Lack of understanding about re-structure and transition timeline, impact and implications for CO

• Retention is a concern and some people leaving organization

• Lack of motivation of team to perform in new roles (likely to happen in new structure)

• Lack of consistent communication management and information not always filtering down

ActivitiesWhat common activities address the challenges?

• Analyze change impact on staff

• Plan change activities• Develop and deliver change

activities


• Motivated staff• Increased staff retention• Maintained respect for people

and individuals• Transparent organization• Effective organizational

transition• Reduced confusion and

disappointment



Transition ToolkitComponent 2: Change Management

• Change Analysis• Change and Communications

Plan


Transition ToolkitComponent 3: Financial Analysis


• Major change in funding • Unclear coverage of SPC cost

structure • Unclear coverage of other cost

pools• Overload of data, but lack of

information


• Gather and validate data• Conduct financial analysis• Identify potential options /

scenarios• Identify option for future state


• Monitor the CO to ensure healthy financial situation

• Proactive crisis prevention and opportunity identification

• Ability to make decisions based on information

• Understand the amount and timing of cost adjustment for SPC

• Understand the amount and timing of cost adjustment for other cost pools

• Ensure broad financial analysis by assessing all options



Transition ToolkitComponent 3: Financial Analysis

• Financial findings• Financial scenarios


Transition ToolkitComponent 4: Organization Structure


• Major change in workload• Change in number of people to

manage workload due to financial situation

• Roles not allocated to effectively support the CO

• Unclear roles and responsibilities

• Unclear accountability and ownership of functions and processes


• Determine roles and responsibilities

• Determine org structure• Validate with financial analysis• Update job descriptions• Review salary and other

benefits• Develop selection criteria for

placing people in new roles


• Workload is appropriately spread

• Defined roles and responsibilities maximizes capacity and support

• Increased accountability and ownership

• Clear selection criteria for filling future positions

• Staff benefits match responsibilities


Transition ToolkitComponent 4: Organization Structure


• Roles and responsibilities• Updated Job Descriptions• New organization structure

(reporting lines and/or teams)


Transition ToolkitComponent 5: Processes


• Policies / processes not updated to reflect restructure

• Control mechanisms no longer appropriate for future structure

• Unable to comply with some policies / procedures due to number of staff

• Lack of documented processes for key tasks

• Varying quality of service• Difference in operations within

the CO• High dependence on specific

individuals for critical processes


• Document current process• Determine support

requirements from program• Identify improvements and

efficiencies• Develop new process


• Efficient and effective processes

• Increased quality and accuracy

• Clarity around process, roles, and accountabilities

• Knowledge documented for training and knowledge transition; provides more flexibility in staffing

• Standard processes across the CO

• Tool for continuous improvement


Transition ToolkitComponent 5: Processes


• Process flow• Process table


Transition ToolkitComponent 6: Staff Development


• Lack of appropriate skills to perform new, often expanded, roles

• Lack of time to perform new roles

• High dependency on some key people and lack of knowledge transfer planning


• Conduct skills analysis to determine skill gap

• Develop training plan• Conduct training• Plan for and conduct

knowledge transfer


• Increased staff morale and job satisfaction

• Increased quality of service• Appropriate and role specific

skills and knowledge among staff

• Lowered dependency on specific individuals



• Skills analysis• Staff development plan• Knowledge transfer plan

Transition ToolkitComponent 6: Staff Development


Workshop – Fri 15 Dec (9:00 – 12:30)

• Global Findings (I hour)– Overall Observations– Overall Recommendations– Key Success Factors– Journey – Toolkit Framework– Toolkit Approach– Overview Toolkit Component




• Close



Overview – Processes (DRAFT)

OverviewPolicies and processes often need to be updated when there is internal change. A process is a set of activities that has an initial trigger event and an end outcome. Process Design is the activity of designing and documenting a process from beginning to end as a result of change.

The tools used in Process Design are a process flow and a process table. A process flow documents the process in a step by step diagram. It identifies roles, activities, and interactions between roles. A process table describes the activity in detail, identifies the specific inputs and outputs of each step and identifies the person accountable. The process table references the process flow and should be used together.

OverviewPolicies and processes often need to be updated when there is internal change. A process is a set of activities that has an initial trigger event and an end outcome. Process Design is the activity of designing and documenting a process from beginning to end as a result of change.

The tools used in Process Design are a process flow and a process table. A process flow documents the process in a step by step diagram. It identifies roles, activities, and interactions between roles. A process table describes the activity in detail, identifies the specific inputs and outputs of each step and identifies the person accountable. The process table references the process flow and should be used together.

PurposeProcess design is conducted to ensure policy and procedure reflect future needs. The benefits of Process Design include the following:• Translates the policy documentation into a user-friendly quick reference guide• Standardizes the process across the CO• Segregates tasks by roles • Clearly identifies accountability• Creates material for training and knowledge sharing• Decreases reliance on individual knowledge of process• Creates process and criteria transparency• Provides a tool to support metrics and identify performance issues

PurposeProcess design is conducted to ensure policy and procedure reflect future needs. The benefits of Process Design include the following:• Translates the policy documentation into a user-friendly quick reference guide• Standardizes the process across the CO• Segregates tasks by roles • Clearly identifies accountability• Creates material for training and knowledge sharing• Decreases reliance on individual knowledge of process• Creates process and criteria transparency• Provides a tool to support metrics and identify performance issues

Roles & ResponsibilitiesA Process Owner is identified to own the process flow and table. One person should be assigned this role per function (ie. Procurement, Inventory, Recruiting, etc). Typically, the Process Owner is the person who has accountability over the process. The Process Owner is responsible for collaborating with other Process Owners of other functions. Other impacted roles should be involved in developing the process as well. The CD and/or SMT is responsible for approving the final process flow and table.

CARE Resources• CARE Admin Coordinators – Karine Lopez (Honduras / Central America), Kenny Ihanjika (Angola)

Roles & ResponsibilitiesA Process Owner is identified to own the process flow and table. One person should be assigned this role per function (ie. Procurement, Inventory, Recruiting, etc). Typically, the Process Owner is the person who has accountability over the process. The Process Owner is responsible for collaborating with other Process Owners of other functions. Other impacted roles should be involved in developing the process as well. The CD and/or SMT is responsible for approving the final process flow and table.

CARE Resources• CARE Admin Coordinators – Karine Lopez (Honduras / Central America), Kenny Ihanjika (Angola)

Inputs• Policy and procedure• Program requirements• Organization structure

Templates• Process Flow• Process Table

Samples• CARE Angola Process_Procurement

v1.ppt

Inputs• Policy and procedure• Program requirements• Organization structure

Templates• Process Flow• Process Table

Samples• CARE Angola Process_Procurement

v1.ppt

Timeframe & DependenciesProcesses should be reviewed under the following conditions: - The process is not currently documented- The policy is updated- The CO requires re-structuring- A new system is being implemented

At a minimum, processes should be reviewed on a semi-annual basis to ensure accurate and relevant documentation.

Updating processes is dependent on policies and systems required by CARE USA.

Timeframe & DependenciesProcesses should be reviewed under the following conditions: - The process is not currently documented- The policy is updated- The CO requires re-structuring- A new system is being implemented

At a minimum, processes should be reviewed on a semi-annual basis to ensure accurate and relevant documentation.

Updating processes is dependent on policies and systems required by CARE USA.


Guide – Processes (DRAFT)

High-Level Process Flow:

Step Description How do I do it?

1 Getting Started Before starting process design, the scope of the process design needs to be identified. Not all processes can be done at the same time. Prioritize and develop a plan for addressing all necessary CO processes. Then identify individuals for the key roles and the participatory roles.

Guidelines for the CD and / or the SMT:

- Identify the CO processes

- Prioritize the CO processes and develop a plan

- Identify process owners and participatory roles

2 Document the current process Before you can develop a future state process or identify improvements, you need to understand how the process works currently. If the current process has not already been documented, then this step needs to be completed.

Guidelines for the Process Owner:

- Draft the CURRENT process in the process flow template (Timeframe: 2 hours)

- Conduct a workshop to validate/update the draft process flow with sub-office representatives and, if necessary, other key impacted parties. (Timeframe: 2 hours)

Objective: Document CURRENT process

Tip: Do not have too many people. A good guideline is 5 or less people. It becomes hard to facilitate with more than 5. Additional input can be provided by other individuals outside the workshop.

- Update the process flow based on workshop comments (Timeframe: 2 hours)

1 Getting Started2 Document the current process

5 Develop the process for future

state

6 Monitor and maintain the

process

4 Identify improvements and determine a plan

3 Determine support

requirements from program




3 Determine support requirements from program

Determine support requirements from program to understand: (1) necessary functions, (2) volume of need for functions, and (3) approximate timeframe. By function, identify the services needed, the frequency of the services (High/Med/Low), the complexity of the services (High/Med/Low), and the timing based on quarter (Q1-4). Define the range for High/Med/Low.

Some functions to consider:

HR – Recruiting, payroll, training, orientation

IT – HW/SW maintenance, computer installations,

Fin – Donor reports/requirements

Procurement

General Services – Logistics

- Fill in needs analysis template

4 Identify improvements and determine a plan

Once the current process has been documented, it becomes clearer where improvements can be made. Improvements can be identified through audit findings, monitoring/evaluation, and best practices. Not all improvements can be made at the same time. A plan must be developed to determine the timeline for process improvement implementation.

Guidelines for the Process Owner:- Conduct a follow-up workshop to confirm updates and identify improvements (Timeframe: 2 hours)- Update the current process flow based on follow-up workshop comments (Timeframe: 1 hour)- Develop a plan for implementing efficiency improvements. Determine priority, urgency, short/long term change, timeframe for changes. For example, changes A and C will be implemented by the end of the fiscal year, but change B will need to wait until the middle of the next fiscal year. (Timeframe: 2 hours)

Objective: Confirm CURRENT process. Identify improvements. Develop plan for implementing improvements.




5 Develop the process for future state

Now that improvements have been identified, determine what changes to the process need to be made.

- Conduct a workshop to develop the FUTURE process (Timeframe: 2 hours)- Document the FUTURE process

Tip: Test a few scenarios through the process to ensure that it works.- Obtain approval from assigned approver- Determine difference between CURRENT and FUTURE processes to identify any training necessary to use the FUTURE process

- Distribute to participants

- Present to other impacted parties

6 Maintain the process A process design will only be useful if it remains relevant and is utilized as a tool. A regular maintenance schedule must be put in place to ensure that the process is up to date and that staff utilize the process.

- Process owner update the process as necessary and at least on a semi-annual basis.

Tip: Some triggers that indicate process update include (a) revised policy, (b) restructure, (c) identification of inaccurate process, and/or (d) dependencies change.

- Participatory roles provide feedback to process owner and educate people in their respective offices on the process.



Hints & Tips

• The FUTURE process flow and table should reflect the way the process SHOULD be today. • Not all improvements and efficiencies can be achieved in the first version of the process flow and table. • Prioritize and identify which improvements can be made now and which improvements will need to wait until a further version.• Processes for one function often are dependent upon processes for another function. Ensure updates to one process take into account dependent processes.• There will ALWAYS be exceptions. Document the process so that it is relevant for MOST situations. Make note of the exceptions.• Depending on the complexity of the process, the number of workshops can vary as long as all necessary participants are present and the steps remain consistent : identify current state, identify improvements, develop future state. • Communication campaigns to inform staff of new processes should be coordinated for different functions.

Hints & Tips

• The FUTURE process flow and table should reflect the way the process SHOULD be today. • Not all improvements and efficiencies can be achieved in the first version of the process flow and table. • Prioritize and identify which improvements can be made now and which improvements will need to wait until a further version.• Processes for one function often are dependent upon processes for another function. Ensure updates to one process take into account dependent processes.• There will ALWAYS be exceptions. Document the process so that it is relevant for MOST situations. Make note of the exceptions.• Depending on the complexity of the process, the number of workshops can vary as long as all necessary participants are present and the steps remain consistent : identify current state, identify improvements, develop future state. • Communication campaigns to inform staff of new processes should be coordinated for different functions.

Challenge Action

• Process does not accurately reflect what is happening in the CO. There is a gap between the documentation and the actual actions of staff.

• Identify the reason for the gap. Potential factors:

– Process documentation is correct, but staff need to be trained to utilize the process correctly. ACTION: Identify specific training needs and conduct training sessions. – Process documentation is correct, but staff lack the capacity to comply with the process. ACTION: Re-assess organization structure and workload allocation. Determine if additional resources are necessary.– Process documentation is correct, but staff do not know documentation exists. ACTION: Ensure staff are properly informed of process documentation and any updates to the process. Conduct a communication campaign to inform users. After initial introduction of the process, ensure periodic sessions/communications occur to refresh staff on the process.– Process documentation is incorrect. ACTION: Return to step 2 of the guide. Re-enforce maintenance activities for the process.

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Process Flow: <Enter process name>

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Owner: <Enter process owner name>Revised: <Enter last revision date>

Key

Use this box for the START and END points of the process.

Use this box for normal process steps

Use this box for steps only required if a certain criteria was met.

Use the arrow to connect one process step box to the next process step box in the flow.

Use this text to indicate a specific frequency

If the process requires more than one page, use this circle to show where the process ends on page one and begins on page two.

<Step number><Step description>

<Step number> <Step description>

(<criteria>)

21st of every month

Template

8 Approve purchase order

9 Fund release approved

(over $500)

Example

<Frequency>

Copy and paste the symbols from this key into the Process template.

X A

START / END<Step number>

<Step description>

START1 Complete request form

# Description Responsible Accountable Input Output Method Timing

Process Table: <Enter process name> Owner: <Enter process owner name>Revised: <Enter last revision date>


Sample Agenda – Procurement Process WorkshopWORKSHOP – Current processObjective: Document standard process• Procurement

– High-level process flow– Validate current state process

• Walk through each step• Confirm every step, role, accountability, input, output, method

– Confirm that objective has been met• Next steps

– Update process according to workshop comments– Obtain feedback from other parties as necessary– Conduct follow-up workshop with the same participants

WORKSHOP – Follow-upObjective: Confirm standard process, identify improvements, and plan implementation• Procurement

– Validate current state process and highlight updates from first workshop– Determine and document variations to the standard process– Identify areas for improvement and efficiency– Prioritize and plan improvements (Not all improvements will likely be able to be made today)

• Next steps– Update process according to workshop comments– Conduct second workshop with the same participants

WORKSHOP – Future processObjective: Document future process• Procurement

– Determine what changes to the process need to be made to address the identified improvements– Test different scenarios in the new process to ensure it works– Determine the difference between the current process and the future process to identify any training needs

• Next steps– Conduct training for impacted parties– Conduct communication campaign to inform all impacted parties


Workshop – Fri 15 Dec (9:00 – 12:30)





• Close



Next Steps – Discussion

Contexts / Applications: In what contexts is the work initiated during this project relevant? How can thinking in the area of CO transition management be further developed?

• Four pilot COs: Can knowledge / tools be further developed through continuing focused work in these four COs?

• Additional Title II Impacted COs: What other T2 countries have urgent need for transition planning support?

• Emergency Response: Relevant in context of scale up or scale down before / after emergency activities?

• Country Exit / Entry: e.g. relevant in context of exit from middle income countries?

• Regionalization: Relevant in countries impacted by regionalization or centralization?

• Other contexts?

Alignment: How can the work initiated in this project be aligned to / incorporated into other ongoing CARE initiatives?

• CUSA Strategic Planning

• Strategic Support Change Initiatives (e.g. Finance Transformation)

• Country Entry / Exit Planning

• Other….


Next Steps – Discussion

Roles, Responsibilities, and Ownership: What are potential roles of various CARE stakeholders further developing work in this area (transition planning & management)?

• Executive Sponsorship• Program & RMUs• Strategic Support – Finance and GOIU• HR – Learning & Organizational Development, Training• CO level ‘champions’ / peer learning

Mechanisms for Implementation: What are some potential approaches for providing COs with access to CARE’s growing experience, knowledge and tools with respect to transition planning?

• Access to knowledge capital• Training / capacity building in key competencies, tools• Dedicated hands-on support to COs from external sources

- Peers (cross CO-learning)- Regional or CUSA support- Third party support


Workshop - Fri 15 Dec (9:00 – 12:30)





• Close



Close

Thank you!!

Continue Discussion and Questions

over Lunch!

workshop presentation final

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